Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Sears Harvey is a financial advisor with over 15 years of experience in the industry. Roy has a strong background in securities and investments, holding licenses for Series 7, 79TO, 24, 63 and 66. Roy is currently registered with Raymond James & Associates, Inc. and has previously worked with AFS Brokerage, Inc. Roy offers a variety of services, including financial planning, portfolio management, and selection of other advisors. Roy specializes in providing personalized financial advice to individuals, businesses, and institutions.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
03/11/2023 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
07/02/2007 - 12/05/2007
AFS BROKERAGE, INC. (AUSTIN TX)
BC
Issued 04/11/2023
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 07/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 12/21/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 03/10/2023
Series 7TO - General Securities Representative Examination
BC
Issued 09/02/2022
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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